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Rbc Capital Markets, LLC CRD 31194
$310B regulatory AUM 1,893 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-12-04 |
| IL | RA | APPROVED | 2023-09-29 |
| TX | RA | APPROVED | 2023-09-29 |
Branch Locations
Palm Beach, FL • United States
Two Mid America Plaza Suite 500 South, Oakbrook Terrace, IL 60181-4715 • United States
Darien, IL • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P Morgan Securities Inc. | Chicago | IL | 06/2010 | 09/2023 |
| Jpmorgan Chase Bank, N.A. | Chicago | IL | 10/2010 | 09/2023 |
| Rbc Capital Markets, Llc | Oakbrook | IL | 09/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-07-24 |
| S63 | Uniform Securities Agent State Law Examination | 1984-06-28 |
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